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Filter By DEI Resources
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EY Publishes Report on Lessons for Boards in Technology Innovation
Ernst & Young recently published a paper titled, “Four Lessons for Boards in Overseeing Emerging …
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Popular Blog Post: Mutual Fund Directors Forum Board Recruitment Series
Last October, the Mutual Fund Directors Forum published a four-part series on the board recruitment process …
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Popular Blog Post: SEC Charges Trustees, Adviser with Liquidity Rule Violations
Last May, the Commission announced charges against Pinnacle Advisors LLC for “aiding and abetting Liquidity …
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Popular Blog Post: Gensler Testifies at House Financial Services Committee Oversight Hearing
This week, the Forum News Feed will highlight popular posts over the last few months. We will return …
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ACA Foreside Releases White Paper Covering ETF Creation and Distribution
ACA Foreside discusses the process of launching and distributing an exchange traded fund (ETF) in a paper …
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S&P Global Ratings Announces Termination of ESG Numerical Scores in Credit Ratings
The S&P Global Ratings' press release maintained that while the numerical score would be removed, the …
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FDIC’s Gruenberg Delivers Remarks on Large Regional Bank Stability Risks
FDIC Chairman Martin Gruenberg noted that “while regional banks may not be as large, complex, and internationally …
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ACA Releases White Paper on “The Expanded ETF Ecosystem”
The report delves into the nuances between traditional passive ETFs as well as newer semi-transparent …
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PCAOB Proposes Rule Covering Audit Standards in Circumstances of Noncompliance
The proposal, entitled “Amendments to PCAOB Auditing Standards related to a Company’s Noncompliance with …
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President Biden Signs Executive Order on U.S. Investment in China
President Joseph Biden issued the “Executive Order on Addressing United States Investments in Certain …
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SEC Announces Charges Against Broker-Dealer Firms for Recordkeeping Failures
The Securities and Exchange Commission (SEC) Division of Enforcement announced charges against 11 …
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Gensler Delivers Remarks on Climate-Risk Disclosure, LIBOR at FSOC Meeting
At a recent meeting of the Financial Stability Oversight Council (FSOC), Securities and Exchange Commission …
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House Financial Services Committee Holds Mark-Up of ESG, Digital Assets Bills
At the end of July, the House Financial Services Committee held a two-day mark-up of several ESG and …
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ACA Podcast Highlights Valuation Compliance
ACA Group hosts a podcast series “Compliance in Context” which recently highlighted the importance of …
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House Oversight Chairman Comer Requests Senior Staff Hiring Information from Gensler
House Oversight Committee Chairman James Comer sent a letter to Securities and Exchange Commission …
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Fund Advisor Files for Exemptive Relief for ETF Share Class
Dimensional Fund Advisors filed an application with the Commission to permit the Advisor’s mutual funds …
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Nasdaq Releases White Paper on Board Utilization of Emerging Innovation
The Nasdaq Center for Board Excellence recently released a white paper entitled, “Revolutionary …
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Gensler Testifies in Senate Appropriations Subcommittee Hearing on SEC FY24 Budget
The Senate Appropriations Subcommittee on Financial Services and General Government held a hearing …
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Event of Interest: EY Plans Webinar on the Evolution of Board Governance
The EY Center for Board Matters plans to host a webinar entitled, “Why now is historic for the evolution …
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Proxy Process and Advisors Face Back-to-Back Hearings in House Financial Services Committee
In July, two House Financial Services Subcommittees heard testimony on issues related to the proxy voting …